Oversight

Element Characteristics:

  • Regular review and improvement of strategies, processes, and practices
  • Reporting and elevation of routine information and adverse events
  • Clear ownership of responsibility for program oversight, including establishment and maintenance of processes 
  • Leadership direction and support, incorporation of compliance information into administrative decision-making, and cultural tone
Roles and Responsibilities:
Senior Leadership Compliance Operations
  • Approve compliance program structure and management
  • Ensure individuals assigned responsibility for compliance have adequate resourcing and authority to implement program
  • Ensure program aligns with university strategy
  • Provide high-level guidance and direction
  • Champion university values, ethical culture, and individual accountability
  • Advise operations on control development and implementation
  • Monitor effectiveness of compliance controls
  • Elevate significant compliance matters to leadership and others as appropriate
  • Develop and implement compliance controls
  • Report concerns and questions to compliance personnel
  • Address control deficiencies with corrective actions
  • Operate in alignment with compliance program structure
  • Exercise day-to-day responsibility for meeting compliance requirements